In the Media

MSN via Barron's (October 24, 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has…
Barron's (October 2023) - Financial advisors can too easily erase customer complaints from official records, but new regulatory reforms may finally add safeguards to a process that has been abused,…
AdvisorHub (October 24, 2023) - A group of plaintiff lawyers is seeking to capitalize on reforms put in place this month by the Financial Industry Regulatory Authority to curtail the sky-high success…
WealthManagement (October 24, 2023) - But a new FINRA rule making it easier for state regulators to oppose expungements could solve some long-standing problems.   The Financial Industry Regulatory…
Mondovisione (October 24, 2023)  Requests for the expungement of customer complaints against their investment brokers were granted at an astonishing rate of 90% according to a new report on FINRA…
Insurance Newsnet (October 25, 2023) By Doug Bailey A nearly 10-year campaign by investor advocates to prevent widespread erasure of consumer complaints from regulator databases has made recent…
Financial Planning (October 24, 2023)  By Dan Shaw An investors' rights group finds that FINRA arbitration panels are about three times less likely to purge brokers' disciplinary records if they're…
Financial Advisor (October 24, 2023) By Eric Rasmussen: A new investor advocacy report has arrived criticizing advisors' abuse of arbitration to erase customer complaints, just as the regulatory…
Wealth Management (October 19, 2023) - The Labor Department's latest attempt at amending its fiduciary definition is currently under consideration by the White House’s Budget Department and is…
InvestmentNews (October 10, 2023) - 'If Finra doesn’t have the ability to enforce its own rules and discipline its members, then chaos will reign,' says PIABA President Hugh Berkson. Eugene H. Kim…